Head of Compliance – London Branch
Salary - £130K - £150K
Location: London
Role Type: Full-time, Senior Leadership Position
Our client is seeking an experienced Head of Compliance to lead, develop and embed the compliance framework within the London Branch. This is a senior role responsible for ensuring the Branch meets all UK regulatory and legal requirements, aligns with Head Office policies, and maintains a strong culture of governance, conduct and integrity.
Key Responsibilities
* Develop, implement and maintain compliance, conduct and anti-bribery and corruption (ABC) policies, procedures and monitoring frameworks.
* Communicate policies and regulatory changes across the Branch and with Head Office.
* Manage requests for policy exceptions and support the definition of the Branch’s compliance risk appetite.
* Oversee First Line of Defence and outsourced activities, monitoring compliance with UK regulations and branch policies.
* Conduct regular compliance risk and control assessments and recommend improvements.
* Provide Management and Head Office with timely reporting on regulatory, conduct and ABC risks, including conflicts, gifts, complaints and policy breaches.
* Keep the Branch informed of legal and regulatory developments and advise on required actions.
* Provide expert advice and deliver training on compliance, conduct and SM&CR requirements.
* Act as the main point of contact for regulators, managing regulatory requests, inspections and follow-up actions.
* Ensure timely and accurate regulatory reporting and support Management with legal cases when needed.
Requirements
* Extensive senior-level experience in UK regulatory compliance within financial services.
* Strong knowledge of FCA/PRA requirements, conduct risk frameworks and ABC regulations.
* Proven leadership within a second-line function and experience engaging with regulators.
* Excellent communication skills and the ability to influence senior stakeholders.
* Strong analytical and risk assessment capabilities.